Christopher Nardecchia - Jul 16, 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP, Chief Information Officer
Signature
Karen A. Balistreri, Attorney-in-fact for Christopher Nardecchia
Stock symbol
ROK
Transactions as of
Jul 16, 2021
Transactions value $
-$222,707
Form type
4
Date filed
7/19/2021, 05:53 PM
Next filing
Jul 21, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $419K +2.17K +26.93% $192.86 10.2K Jul 16, 2021 Direct F1
transaction ROK Common Stock Sale -$641K -2.17K -21.22% $295.44 8.06K Jul 16, 2021 Direct F1, F2, F3
holding ROK Common Stock 5.2 Jul 16, 2021 By Savings Plan F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ROK Employee Stock Option (Right to Buy) Options Exercise $0 -2.17K -33.92% $0.00 4.23K Jul 16, 2021 Common Stock 2.17K $192.86 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 2/25/2021.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $295.00 to $295.71. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
F3 Includes 6,500 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F4 Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 6/30/2021. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
F5 The option vests in three substantially equal annual installments beginning on the date exercisable.